FacultyFaculty/Author Profile

Stephen Luparello

FINRA
Vice Chairman
Washington, DC, USA


Stephen Luparello is FINRA's Vice Chairman. In this capacity, Mr. Luparello oversees FINRA's regulatory operations, including Enforcement, Market Regulation, Member Regulation and Business Solutions. Prior to this position, Mr. Luparello served as FINRA's Interim Chief Executive Officer.

 Mr. Luparello began his tenure at FINRA (then NASD) in 1996. He became the head of NASD's Market Regulation Department in 1999, with responsibility for oversight of trading on The NASDAQ Stock Market, the American Stock Exchange, the Over-the-Counter equities market, and the corporate and municipal fixed income markets. Mr. Luparello also has overseen the consolidation of NASD and the member regulation, enforcement and arbitration functions of NYSE Regulation into FINRA, and the creation of cutting-edge market regulatory technology. He also led the organization's regulatory work for markets and exchanges in the United States. Before joining NASD Market Regulation, he was Vice President of the NASD Office of Disciplinary Policy.

 From 1994 to 1996, Mr. Luparello was Chief of Staff to the Chair of the Commodity Futures Trading Commission. Prior to joining the CFTC, he served four years as legal counsel to former FINRA CEO Mary Schapiro at the SEC, and as legal counsel in the SEC's Division of Market Regulation.

Mr. Luparello serves on the board of the Depository Trust & Clearing Corporation. He is a graduate of the Washington and Lee University School of Law and received his undergraduate degree in History from LeMoyne College.
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